Brokerage Activities definition

Brokerage Activities. Section 2(c).
Sample 1Sample 2
Brokerage Activities means (i) providing advice or recommendations to any potential investor relating to the advisability of investing in FreeButton, (ii) negotiating any investment in FreeButton, (iii) engaging in any form of solicitation of investors, (iv) delivering or distributing offering memoranda or any information regarding FreeButton or its offering to any potential investor, (v) providing assistance to any potential investor in completing subscription or investment materials, (vi) providing financing to any investor, and (vii) engaging in any other activities that only may be conducted by duly licensed and registered broker-dealers under applicable securities laws.
Sample 1

Examples of Brokerage Activities in a sentence

  • Vendor acknowledges that TD AMERITRADE shall be solely responsible for all Brokerage Activities.

  • Launch of Brokerage Activities on the Hungarian MarketIn March 2010, the Company launched brokerage activities on the Budapest Stock Exchange, of which it is a remote member.

  • Although Distributor may introduce investors to FreeButton, Distributor is prohibited from engaging in any Brokerage Activities on FreeButton’s behalf, and represents, warrants and covenants that it has not and will not engage in Brokerage Activities.

  • Brokerage Activities Nasdaq Execution Services and NASDAQ Options Services provide guarantees to securities clearinghouses and exchanges under their standard membership agreements, which require members to guarantee the performance of other members.

  • Brokerage Activities In accordance with FASB Interpretation 45, “Guarantor’s Accounting and Disclosure Requirements for Guarantees, Including Indirect Guarantees of Indebtedness of Others,” or FIN 45, Nasdaq Execution Services and NASDAQ Options Services provide guarantees to securities clearinghouses and exchanges under their standard membership agreements, which require members to guarantee the performance of other members.

  • The resulting concentration in the Oxygen vacancies [OV] decreases with Po2.Since Oxygen vacancies act as donors, the decrease in their concentration with the increase in Po2 is in accordance to the measured decrease in the carrier concentration with Po2, indicating that the free carrier concentration (n) is directly proportional to the Oxygen vacancy concentration [OV]in the In-O bonds of the various ITO films.

  • Unlimited and Irrevocable BlockAs in the Decree on Brokerage Activities, there are two types of securities block: the unlimited and the irrevocable.

  • Always (this means we will not offer voicemail) 🔾Upon Callers Request 🔾Statement ofNon-Mortgage Brokerage Activities Does Mortgage Agent have a branch office?🔾 Yes🔾 No If YES, provide office address: Does Mortgage Agent carry on any OTHER non-mortgage brokerage business activities within the same premises?🔾 Yes🔾 No If YES, provide clarification below about steps taken to physically separate the aspects of the different business without confusing and compromising privacy of the consumers.

  • Licensing of Brokerage Activities in the Area of Issuance and Turnover of Securities 133Article 358.

  • Insider Trading 66 7.7. The Money Laundering Law 66 7.8. Civil Remedies 67 7.8.1. Securities Sold in Violation of Registration and/or Prospectus Requirements 67 7.8.2. Insider Trading 68 7.8.3. Fraudulent Brokerage Activities and Handling of Brokerage Accounts 68 7.8.3.1. Excessive or Unfair Profits or Commissions 68 7.8.3.2. Operating While Insolvent or Financially Unsound and Other Losses Caused by Intermediaries 68 7.8.🖑.

Related to Brokerage Activities

  • Real estate brokerage activity means any activity that involves offering or providing real estate brokerage services to the public, including:

  • Service activities means activities in connection with the provision of personal, continuing services to shareholder accounts in the Shares; provided, however, that if the National Association of Securities Dealers, Inc. (“NASD”) adopts a definition of “service fee” for purposes of Section 2830(b)(9) of the NASD Conduct Rules or any successor provision that differs from the definition of “service activities” hereunder, or if the NASD adopts a related interpretive position intended to define the same concept, the definition of “service activities” in this paragraph shall be automatically amended, without further action of the parties, to conform to the then effective NASD definition. Overhead and other expenses related to “distribution activities” or “service activities,” including telephone and other communications expenses, may be included in the information regarding amounts expended for these activities.

  • Activities has the meaning specified in Section 7.02(b).

  • Economic activities shall in principle include activities of an industrial, commercial and professional character and activities of craftsmen;

  • Eligible activities or "eligible activity" means 1 or more of the following:

  • Intrascholastic Activities means athletic or non-athletic/academic activities where students compete with students from within the same school.

  • Interfering Activities means (A) encouraging, soliciting, or inducing, or in any manner attempting to encourage, solicit, or induce, any Person employed by, or providing consulting services to, any member of the Company Group to terminate such Person’s employment or services (or in the case of a consultant, materially reducing such services) with the Company Group; (B) hiring any individual who was employed by the Company Group within the six (6) month period prior to the date of such hiring; or (C) encouraging, soliciting, or inducing, or in any manner attempting to encourage, solicit, or induce, any Business Relation to cease doing business with or reduce the amount of business conducted with the Company Group, or in any way interfering with the relationship between any such Business Relation and the Company Group.

  • brokerage and research services shall have the meaning given in the Securities Exchange Act of 1934.

  • High Risk Activities means uses such as the operation of nuclear facilities, air traffic control, or life support systems, where the use or failure of the Services could lead to death, personal injury, or environmental damage.

  • School activities means any activity sponsored by the school including, but not limited to, classroom work, library activities, physical education classes, official assemblies and other similar gatherings, school athletic contests, band concerts, school plays and other theatrical productions, and in-school lunch periods.

  • Interscholastic Activities means athletic or non-athletic/academic activities where students compete on a school vs. school basis.

  • Major life activities means functions such as caring for one's self, performing manual tasks, walking, seeing, hearing, speaking, breathing, learning and working.

  • Brokerage services means those activities identified in sections 543B.3 and 543B.6.

  • Competing Activities means the same or similar services as Xxxxxx Xxx Ltd is providing to the Restaurant under this Agreement or other activities having a similar purpose.

  • Outside Activity means any private practice, private consulting, additional teaching or research, or other activity, compensated or uncompensated, which is not part of the employee's assigned duties and for which the University has provided no compensation.

  • Motor Sport Activities means any motor sport activities or Recreational Services which are permitted or approved which CAMS regulates or administers by CAMS or otherwise under the responsibility / control of CAMS;

  • Business Activities shall be deemed to include any activities which are included in the Company's Business now or during the effective period of this Agreement.

  • investment services and activities means any of the services and activities listed in Section A of Annex I relating to any of the instruments listed in Section C of Annex I;

  • Commercial Activities means activities conducted on a commercial basis.

  • Funded Activities means the activities set out in the Grant Offer Letter and Annex 2 of these Conditions; General Data Protection Regulation and GDPR means the General Data Protection Regulation (EU) 2016/679; Grant means the sum or sums that DWP will pay to the Grant Recipient in accordance with clause 4 and subject to the provisions set out at clause 22.

  • Restricted Activities means those activities described in Section 10 of this Agreement.

  • Permitted Activities The primary activities of the trust created pursuant to this Agreement which shall be:

  • Covered Activities means those land uses and conservation and other activities described in Chapter 2.3 of the HCP/NCCP to be carried out by the Conservancy or its agents that may result in Authorized Take of Covered Species during the term of the HCP/NCCP, and that are otherwise lawful.

  • licensed activities means things authorised to be done by the licence

  • Agricultural activities means agricultural uses and practices including, but not limited to: Producing, breeding, or increasing agricultural products; rotating and changing agricultural crops; allowing land used for agricultural activities to lie fallow in which it is plowed and tilled but left unseeded; allowing land used for agricultural activities to lie dormant as a result of adverse agricultural market conditions; allowing land used for agricultural activities to lie dormant because the land is enrolled in a local, state, or federal conservation program, or the land is subject to a conservation easement; conducting agricultural operations; maintaining, repairing, and replacing agricultural equipment; maintaining, repairing, and replacing agricultural facilities, provided that the replacement facility is no closer to the shoreline than the original facility; and maintaining agricultural lands under production or cultivation;

  • Motorcycling Activities means performing or participating in any capacity in any authorised or recognised Motorcycling Organisation event, meeting or activity;